Joshua D. Higgins
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Joshua David Higgins was a registered financial professional .
Joshua is a previously registered financial professional and started their career in finance in 2000. Joshua had worked at 3 firms and has passed the Series 63, Series 55 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 17, 2011 - August 28, 2015
CHIMERA SECURITIES, LLC
October 28, 2008 - April 1, 2009
FIS BROKERAGE & SECURITIES SERVICES LLC
May 31, 2005 - October 31, 2007
FIS BROKERAGE & SECURITIES SERVICES LLC
July 5, 2000 - July 27, 2004
LIGHTSPEED PROFESSIONAL TRADING LLC
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 55
Date: 7/21/2000
Limited Representative-Equity Trader ExamCurrent Firm
CHIMERA SECURITIES, LLC
CRD#: 147566 / SEC#: , 8-67915
Contact information
Documents
Disclosures
| Regulatory Event | 7 |
Red Flags
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